Earl M. Collier Jr - Feb 14, 2023 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
Director
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Feb 14, 2023
Transactions value $
$1,947
Form type
4
Date filed
2/15/2023, 07:00 PM
Previous filing
Jan 5, 2023
Next filing
Oct 12, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAPR Common Stock Options Exercise $1.95K +1.4K +9.07% $1.39 16.9K Feb 14, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -1.4K -100% $0.00* 0 Feb 14, 2023 Common Stock 1.4K $1.39 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.
F2 25% of the shares vested immediately, with the remainder vesting monthly over 25 months commencing May 1, 2013.